Trading Compliance Analyst — AML & Market Tech Focus

OTC Markets Group; New York (NY); On-site; USD 90,000 - 115,000; Full time

Benefits offered by this job

Generous PTO

Health, Dental, Vision coverage

HSA

FSA Dependent & Healthcare

LPFSA

Parental Leave Program

Annual discretionary bonus

401(K) Plan

Commuter Transit & Parking

Income protection (Life Insurance, DI)

Voluntary benefits (Accident, Critical

Job summary

OTC Markets Group in New York seeks a Trading Compliance Analyst to support AML/SCI initiatives and maintain supervisory procedures across platforms. Youll interact with Operations, Technology, Compliance and Subscriber Services to ensure regulatory readiness and efficient issue resolution.

Youll gain hands‑on experience with regulatory exams, audits, and testing while contributing to a fast‑paced, finance‑tech environment and developing a broad view of the business.

Qualifications

• Bachelor’s degree in business, Finance, Economics, Communications, or a related field.
• Basic understanding of SQL and the ability to query, analyze and interpret data sets.
• Strong attention to detail with the ability to identify inconsistencies and maintain a high degree of accuracy.
• Demonstrated project management and organizational skills, including the ability to manage multiple priorities simultaneously.
• Strong analytical, problem solving, written communication and interpersonal skills.
• Ability to work independently and collaboratively in a fast paced regulatory and technology driven environment.
• Comfortable working with Microsoft Office applications, particularly Excel, Word & PowerPoint.
• Must be willing to obtain SIE & Series 7.

Responsibilities

• Assist with the development, maintenance and review of Written Supervisory Procedures (WSPs) and related compliance documentation.
• Support the planning, coordination, tracking and execution of Anti-Money Laundering (AML) and Systems Compliance and Integrity (SCI) initiatives.
• Participate in project management activities, including maintaining project timelines, coordinating stakeholders, documenting action items, and monitoring progress against objectives.
• Develop a working knowledge of OTC Markets trading platforms to respond to subscriber inquiries regarding platform functionality and operating procedures.
• Assist with regulatory examinations, audits testing activities and remediation efforts.
• Collaborate with Operations, Compliance, Technology and Subscriber Services teams on strategic and operational projects.
• Ad‑hoc duties and special projects as assigned.

Skills

Attention to detail

Project management

Analytical thinking

Written communication

MS Office proficiency

Team collaboration

Independent work

Regulatory awareness

Education

Bachelor’s degree in business, finance, economics, or communications

Tools

SQL

Excel

Job description

OTC Markets Group in New York seeks a Trading Compliance Analyst to support AML/SCI initiatives and maintain supervisory procedures across platforms. Youll interact with Operations, Technology, Compliance and Subscriber Services to ensure regulatory readiness and efficient issue resolution.

Youll gain hands‑on experience with regulatory exams, audits, and testing while contributing to a fast‑paced, finance‑tech environment and developing a broad view of the business.